Betsy J. Cole

THE CLARIUS GROUP

Seattle, WA 98104

Some features on this profile are disabled

CRD#: 4667304

Professional summary

Betsy Joann Cole, who also goes by Betsy Joann Kellenbeck, is a registered financial advisor currently at THE CLARIUS GROUP, LLC located in Seattle, Washington.

Betsy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Betsy has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Betsy Joann Kellenbeck

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Betsy Joann Cole's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 12, 2021 - Present

THE CLARIUS GROUP, LLC

Office #1: 999 Third Avenue, Suite 3050, Seattle, WA 98104

RIA

CRD#: 173347

Seattle, WA

Past

June 19, 2019 - November 19, 2021

HIGHLAND PRIVATE WEALTH MANAGEMENT

RIA

CRD#: 109532

BELLEVUE, WA

Past

August 1, 2017 - June 21, 2019

NEWGROUND SOCIAL INVESTMENT

RIA

CRD#: 117060

SEATTLE, WA

Past

December 18, 2015 - July 6, 2017

D.A. DAVIDSON & CO.

RIA

CRD#: 199

BELLEVUE, WA

Past

December 18, 2015 - July 6, 2017

D.A. DAVIDSON & CO.

CRD#: 199

BELLEVUE, WA

Past

November 20, 2013 - December 10, 2015

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

BELLEVUE, WA

Past

January 6, 2012 - September 30, 2013

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

Past

November 29, 2011 - November 19, 2015

TRUTINA FINANCIAL

RIA

CRD#: 148866

BELLEVUE, WA

Past

July 7, 2011 - November 10, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RENTON, WA

Past

July 7, 2011 - November 10, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RENTON, WA

Past

January 1, 2008 - January 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLINGHAM, WA

Past

January 1, 2008 - January 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BELLINGHAM, WA

Past

May 17, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BELLINGHAM, WA

Past

May 17, 2005 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

BELLINGHAM, WA

Past

October 19, 2004 - February 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

March 9, 2004 - February 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE CLARIUS GROUP, LLC

SHARED FAMILY OFFICE | THE CLARIUS GROUP, LLC | SHARED FAMILY OFFICE, LLC

CRD#: 173347 / SEC#: 801-80681

RIA

Registered Investment Advisory firm - (1/5/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(12/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2004

General Securities Representative Examination

Current Firm

THE CLARIUS GROUP, LLC

SHARED FAMILY OFFICE | THE CLARIUS GROUP, LLC | SHARED FAMILY OFFICE, LLC

CRD#: 173347 / SEC#: 801-80681

RIA

Registered Investment Advisory firm - (1/5/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

999 Third Avenue, Suite 3050, Seattle, WA 98104

Mailing Address

Phone number

(206) 462-7400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DATED MARCH 27, 2023 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,511
AUM (Assets Under Management)	$ 4,680,010,497

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/09/2025	Cover Page	Report
07/25/2023	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Betsy J. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Betsy Joann Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLAND PRIVATE WEALTH MANAGEMENT

NEWGROUND SOCIAL INVESTMENT

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

PRIVATE CLIENT SERVICES, LLC

SIGNATOR FINANCIAL SERVICES, INC.

TRUTINA FINANCIAL

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE CLARIUS GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2004

SIE

Date: 7/6/2017

Series 7

Date: 3/8/2004

Current Firm

THE CLARIUS GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CLARIUS GROUP, LLC

TRUST BUT VERIFY

Similar Advisors